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Head of Compliance

I’m working with a fantastic financial organisation in Manchester that is looking for a Head of Compliance to join them.

 

They’re looking for someone who’ll come in and be responsible for overseeing compliance within the company and ensuring compliance with laws, regulatory requirements, policies and procedures across various advice areas.

 

Your day-to-day:

·       Overseeing the timely and accurate production of all regulatory returns (FCA Connect, GABRIEL) and MI to the FCA ensuring compliance with relevant regulatory rules

·       Ensuring effective tools are in place for monitoring, risk within the firm, capital and liquidity, to deliver appropriate Risk MI

·       Implementing new regulatory returns (REP008), or changes to regulatory rules and requirements and embed these within the firm (SM & CR)

·       Driving change to systems and processes to increase robo-automation through improved quality of advice algorithm

·       Designing and implementing the Compliance Monitoring Programme

·       Enhancing the governance and control framework

·       Supporting various teams through provision of regulatory guidance and help where needed

 

About you:

·       Minimum level 4 qualified (Regulated Financial Planning)

·       IFA background preferable with some experience in Defined Benefits transfers (this is not a must, but an advantage)

·       Open minded about the future of Advice and how technology can help

·       Forward thinking

·       Pragmatic, and able to see compliance not as a separate entity but as a function that is integral to the wider business

·       Strong leader who can is pro-active

 

Regulatory areas:

·       GDPR, Data Protection

·       FCA Handbook & Rules

·       AML (implementing JMLSG Guidance)

·       HMRC

 

Does this sound like you? Apply now and I’ll be in touch to discuss the role in further detail.

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